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Showing 511 to 520 of 2098 search results for This Final Notice refers to breaches.
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Final notice 2016: GB Financial Consultancy Limited [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative and threshold conditions in the general insurance and protection sector. We imposed a cancellation. -
FCA Final Notice 2014: Anthony Clare [pdf]
This final notice refers to breaches of APER 6 and 7 related to unfair treatment of customers, mis-selling, remuneration, and culture/governance in the general insurance and protection sector. We imposed a public fine. -
Final notice 2016: Mark Samuel Taylor [pdf]
This final notice refers to breaches of FIT as well as section 118(2) Financial Services and Markets Act 2000, related to market abuse and a lack of fitness/propriety in the wealth management and private banking sector. We imposed a fine and -
Final Notice 2015: Christopher David Peacher [pdf]
This final notice refers to breaches of FIT related to lack of fitness/propriety in the consumer credit and investment advisor sectors. We imposed a cancellation and a prohibition. -
FCA Final Notice 2014: Supercroft Trading Limited [pdf]
This final notice refers to breaches of PSR related to failing to be open and co-operative in the payment services sector. We imposed a cancellation. -
FCA Final Notice 2013: Nonwoven Solutions Limited [pdf]
This final notice refers to breaches of PSR related to failing to be open and co-operative in the payment systems sector. We imposed a cancellation. -
Final Notice 2017: Waterside Vehicles Ltd [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2024: Citigroup Global Markets Limited [pdf]
This Final Notice refers to breaches of PRIN 2 and 3, and MAR 7A 3.2 related to wholesale conduct in the investment bank sector. We imposed a fine. -
Final Notice 2016: Yesmar Restaurants Limited [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation. -
Final Notice 2020: NJW Car Sales [pdf]
This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.